| 20-02368 | 11/08/2022 | Claimant(s): Helen Shelly, Jerry Shelly
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Arkadios Capital, Triad Advisors LLC
Respondent Lawyers(s): Greg Curley, Peter B. King
Arbitrator(s): Michael J. Ahlstrom, Stuart K. Furman, Bernadette F. Rasmussen
Hearing Site: Columbia, SC
|  | Expungement |
| 22-00169 | 10/24/2022 | Claimant(s): David Gray
Claimant Lawyers(s): Courtney Werning
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Richard R. Logsdon, Meeta Alberta Bass, Karen Santiago
Hearing Site: Jacksonville, FL
| | Dismissed by Rule 12206 |
| 22-00081 | 10/17/2022 | Claimant(s): Karen Binder
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger, Michael J. Henke, Donita M. King
Hearing Site: Richmond, VA
| | Expungement |
| 22-00426 | 09/28/2022 | Claimant(s): Gregory Giardino
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Michael H DuBoff
Hearing Site: Jersey City, NJ
| | |
| 19-03788 | 03/31/2022 | Claimant(s): De Mille RT DTD 1/26/93, De Mille TTEE
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Guy Harrigan, James Teegarden, Lion Street Financial, Triad Advisors LLC
Respondent Lawyers(s): James A. McGovern, Kathy M. Klock
Arbitrator(s): Nicole T. LeBoeuf, Phyllis Sandra Hill, Don G Miller
Hearing Site: Dallas, TX
| | Expungement |
| 21-01041 | 12/29/2021 | Claimant(s): Brian O'Neil
Claimant Lawyers(s): Jeffrey R. Thomas
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Richard M. Reider, Steven Meyrich, Mari C. Bush
Hearing Site: Denver, CO
| | |
| 20-04158 | 10/26/2021 | Claimant(s): Diedre Conover, Mark Conover, Diedre Conover IRA, Mark Conover IRA
Claimant Lawyers(s): Kirk Smith
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Langdon T. Owen, Rick L. Knuth, Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206 |
| 20-04151 | 10/06/2021 | Claimant(s): Paul Gorsuch
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Kathleen M. Klein
Arbitrator(s): Thomas Michael Genovese
Hearing Site: Chicago, IL
| | $65,000 |
| 19-00822 | 07/12/2021 | Claimant(s): James Collins
Claimant Lawyers(s): Adam M. Green
Respondent(s): Stephen DeCesare, Triad Advisors LLC
Respondent Lawyers(s): Brian A. Carlis, James A. McGovern
Arbitrator(s): Julie K. Chapin, Mary S. Wyatte, Anne O'Connell Umbrecht
Hearing Site: Philadelphia, PA
| | Expungement |
| 20-03143 | 04/23/2021 | Claimant(s): Jason Lavigne
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Paul Allan Massaro
Hearing Site: Jersey City, NJ
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